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I. Person Reporting (last name, first, middle initial) Lake, Simeon T. 4. Titk (Article Ill judges indicate active or senior status; magistrate judgca indieam full- or part-time) U.S. District Judge (active)

FOR CALENDAR YEAR 2009
2. Conrt or Organization United States District Court 5a. Report Type [check appropriate type) [] Nomirmtion, [] Initial Dine [] Annual [] Fina[

(~ u.s.c ap~ ~§ ~61-111)
3. Date of Report 03/25/2010 6, Reporting Period 0!/01./2009 te 12/31/2-009

5b. [] Amended Report 7. Chamber* or Office Address United States Courthou,~ 515 Rusk Avenue, R~m 9535 Houston, Texas 77002 8. On the basis of the information contained in this Report and any morliF~tion$ pertaining lhtwtto, it is, in my opinion, in compliance wi~ apgltt~ble laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instrucaons accompanying this form must be followe"f Complete all parts, checking the NONE box for each part where you ha~e no reportable information. Sign on last pag~

~
I.

N ONE (No reportablepositions.) POSITION
Co-Trustee Trust # 1

NAME OF ORGANIZATION/ENTITY

II. AGREEMENTS. (g~o,~g individual oMy; su pp. 14-16 of fd~g in~ruaionz)
NONE (No reportable agreements.) PARTIES AND TERMS
1.

Lake, Simeon T.

FINANCIAL DISCLOSURE REPORT

Name of Pert, on Reporting

Date of Report

Page 2 of 9

l~ake, SimeoD T.

o3~5~olo

HI. NON-INVESTMENT INCOME. (R~o~ng ~*d.~ o~,~o.~; ,. ~ ~7-z o/fa.~ i~tru~o~)
A. Filer’s Non-lnves~ent Income
NONE ~o reportable non-inves~ent income.) DATE
I. 2, 3, 4.

SOURCE AND TyPE
(yo~, not

B. Spouse’s Non-Investment Income - If you were married during tiny portion of lhe rep~rllng year, cotnpl~e ~1$ sectlo~
(~l[ar amount not re~dred e~eept for ~nor~a.)

~

NONE ~o reportable non-investment income.)
DATE

SOURCE AND TYPE

1. 2. 3. 4.

IV. REIMBURSEMENTS - ~,~,,-~o,~ t,,,~i,,~, ~’,,,~,
(Includes those to spouse and de:pendent childret ." see pp. 25-27 of filing instructions

NONE (No reportable reimbursements.) SOURCE
I,

DATES.

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

3.
4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

N~ ....f Person Repor’fi.g

Date of Repo~

Lake, Simeon T.

03/25/2010

~

NONE (No reportable g~s.)
SOURCE DESCRIPTION VALUE

I. 2~ 3. 4~
5.

VI. LIABILITIES. a~,’~ ~,o~, o~’~ ..... ~ depend,~n, children; s~¢ pp. 32-33 offding ~uctio~)
NONE (No reportable liabilities.) CREDITOR
I, 2. 3. 4. 5.

DESCRIPTION

VA I.UE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Per~n Reporting

D~te of Report

] ~, Simeon T.

03/~s/~010

NONE ~o reportable income, assets, or 9"ansactio~.) D~pfion of A~e~ [ Income during G~s ~lue at e~ Transactions d~ng re~ing ~

~ (A-H) ~

div.,~nK oriaL)

.

Code2 0-P)

Me~od C~c3

b~,~ll, r~e~fion)

,m~d~’~ I C~e2 ~ Code I ! (J-P) i ~A-H) ,

buyer/~llcr (ifpfiva~

I. 2.
3.

renal pro~ # l-Houston TX rental proper~ #2-Houston, "IX
rental property #3-Honston, 33(

A B
B

Rent Rent
Rent

N L
M

W W
W

4. 5. 6.

ren~at property #4-Houston, TX property, Washinglon Cnty, TX J.P. Morgan Chase Exxon Common Stock

A A A E

Rent Rent Interest Dividend

N N J PI

W W T T Buy Buy (add’l) 03/03/09 07/07/09 I .I

Wells Fargo Bank Account 10. 11. ~12.
13,

A C A B
B

Interest Royalty Interest Dividend
Dividertd

.I K K K
L

T W T T
T

Royalty Interest, Washington County, Texas Merrill Lynch Money Mkt Acct (JR.A) AT&T Inc. Common Stock (IRA)
Novartis ADR (IRA)

14. 15. 16. 17.

IBM Corp. Common Stock (IRA) General Electric Common Stock (IRA) Intel Corp. Common Stock (IRA) Syngenta AG ADR (IRA)

B A A A

Dividend Dividend Dividend Dividend

L J J

T T "1"

FINANCIAL DISCLOSURE REPORT Page 5 of 9

~eoree~ou ae~ang
Lake, Simeon T.

D~ of R~o.
03/25/2010

VII. INVESTMENTS and TRUSTS -~, .... ~u ...... a~,~ a,,a,,d~ ~h,,~ o~~t,o,,~ ~ ~ ~#~: ~ ~ s4~ o/~n~ i~
~ NONE ~o reportable income, assets, or transaction.)

.........................................................~.
D~fipfion of ~m

T .................... ~ ............ ~ .............. ~. ~ .............................................. ~ ..............................
l~ome during ~ G~s value at end ~ T~o~ during r~ing ~

P~c~ "(X)" after ~ch ~t exempt from prior di~l~um

~[~i~ Amount ~ T~ (e.g., ~ Value C~ I div., ~n~ C~c 2 (A-H) or inL) (J-P)

~ij ..... <~ .....

-~) ~1 Val~
Mc~ Code3

o~

~) ]-~f ...... ~)- ..........
Dale] Valne Gain m~d~yy ~de 2 C~ 1 (J-P) (A-H) ld~tity of buy~r/~ll¢r (ifpfiva~

~ T~ (e.g., ~ buy, sdl, ’, r~empfion)

.....................................................
18, N~tle ~. ADR (IRA) B Dividend L

<~ .........
T

~.Y.?L ........

20. 21. 22. 23.

Fred.s, lnCo Common S~ock (IRA) Johnson & Johnson Inc. Common Stock

A A B

Dividend Dividend Dividend None

J K L J K .I

T T T T T T T

(~

Procter & Gamble lnc Common Stock 0RAI Washington Mutual Inc. Common Stock

24. Microsoft Common Stock (IRA) 25. 26. Air Transport Services Group, Inc. Commm~ Stock (IRA) McCormick lnc, Non-Voting(IRA)

A

Dividend None Dividend

A

K

27. 28.

Pfizer Inc. Common Stock (IRA) 3M Company(IRA)

A A

Dividend Dividend

K K

T T

29. Tm~t #1
30. --XCEL Energy, lnc, Common Stock A Dividend J T

3 I. --Walgreen Co. Common Stock
32. --Hewlett Packard Co. Common Stock

A
A A

Dividend
Dividend Dividend

K
L J

T
T T

33. --Merrill Lynch Money Market Acct

34.

--Southwest Airlines Common Stock

A

Dividend

K

T

FINANCIAL DISCLOSURE REPORT Page 6 of 9

r~a,.e of Person Reporting Lake, Simeon T.

Date of Report

03/25/2010

VII. IN VESTMENTS and TRUSTS -in ..... t.. ~,~,~~o,~, fn.~.~s ,ho~ .r~o .... ~ a.~.~t ~s~; ~ ~. ~ o;m-g ~,~,,~;
~ NONE (No reportable income, assets, or transactions.)

......... ~ ........................
Dc.scdption of Assels (including trust ass¢~.) Place "(X)" after each asset ¢xemptfrompriordisc|osure

~. _

Income during r~poriing ix:riod Amo~at Codel Type (e.g., div.,rent,

Gross value at end of rcpor6ng period Value Cod¢2

" c~ ................................................. ~ ............................ [ Transactions during rcporling ix-riod ,
I Value i Method Type (e.g., buy, sell, [ Date Value Gain mm/dd./yyICodc2 Code|

buyerlseIl~-r

(O-VO ................................................................. ~ : .................................. 35. 36. 37. 38. 39. 40. 41. 42. 43. 44, 4.5. 46. 47. 48. 49, 50. 51. --Apple Computer Inc. Common Stock --Bristol Myers Squib Co. Inc, Common Stock --Pfizer inc. Common Stock --Mit,’rosofi Common Stock -Johnson & Johnson Co. Common Stock Merrill Lynch Money Fund AT&T Inc. Common Stock Abbott Labs Common Stock Trust #2 -Exxon Corp. Co~runon Stock --Merrill Lynch Money Fund --Abbott Labs Common Stock --General Electric Common Stock Pfizer Inc. Common Stock N0kiaCorp, Common Stock Wells Fargo & Co. Common Stock Kellog Co. Common Stock F A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend, K T J J K 7" "l" T Sold 10/21/09 3 A P1 ~ -I" T C A A A B A B None Dividend Dividend Dividend Dividend Dividend Dividend Dividend M L K K K L J K T T T T T T T T

(Se~ Cehunas Bt and I)4)

F =$50,001 - $100,000

G =$100,I]O1 - $1,090,000

H [ =$1,000,001 - $5,0QJ,~)O

}L2 =More than $5,000,~00

FINANCIAL DISCLOSURE REPORT Page 7 of 9

N .... f Perxon Reporting

Date of Report 03/25/2010

take, Simeon T.

VII. INVESTMENTS and TRUSTS - ~ ..... ~,,,,, ~,~,,~,~no~ a~t,,a~ ,ho~
NONE (No reportable income, assets, or transactions,) Description of As.sets (including tin!! asset3) Ptace"~X)" after each asset exempt from prior di~lo~ure Income during ~vorting lyedod Gtt~ss value at end, of reporting period ’ Type {e.g., buy. redemption) Date Value I Gain (J-P) Identity of

Anmtmt Type ~e.g., Code I I div. rent, I(A-H) [ orint~

-S---~-q "ii)--7 ........ i~ ......... <2)

Value] Value Code 2 ! Met,~od I (J-P) I Code3

[ 52. 53. ] 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 6~. 65. 66. 67,

Hospira lnc, Common Stock Procter & Gamble, Inc. Bank of’l’exas Account Caterpillar Inc. Fidelity Municipal Money Mkt a/e 1 shares Global Financials Sector Index I shares S&P Global -[elecom Sector Index Kraft Foods 1 shares Pacific Ex Japan Index I shares FTSE China 25 Index 1 shares Emerging Mkts Index Fd I shares S&P Latin Amer 40 Index l shar~ Global Matcria!s Index 1 shares S&P Metals & Mitring ETF Nuveen Muni Value Fund Texas Water A~sistance Board Bond B A A A A A B A A A A A A A A

None Dividend Interes~ Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Interest

J K J K J .~ J K J J J J J J K .I

T T T T T T T "1" T T T "1~ T T T T Buy Buy 08/18!09 12/15/09 J J Buy (add’l) 09!18/09 J

FINANCIAL DISCLOSURE REPORT

s .... fP .... Reporting Lake, Simeon T.

] ]

Da,e of Report 03,r25/20 |0

Page g o f 9

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a~,~ot~,~oSR~oo,~7
SECTION VII PAGE 7 Line 66 - Nuvecta Muni Value Fund is a new entry. Line 67 - Texa.~ Water Assistance Board bond is a new entry.

Nam~ of Person Reporting

FINANCIALpage 9 of 9 DISCLOSURE REPORT
IX. CERTIFICATION.

I

Date of Report

Lake, Simeon 1.

[

03/25/2010

1 certify that all information given above (including information perlaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-dlsdosure~ l further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq, 5 U.S.C. § 7353, and Judieial Conference regulations.

Si

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United State£ Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

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